THOMAS GREGORY SCHEIMAN (THOMAS G SCHEIMAN) is currently listed as a broker since 1990 and as a financial advisor since 2003 with INDEPENDENCE CAPITAL CO., INC. of Parma, Ohio.  SCHEIMAN was recently fined $5,000.00, ordered to pay a disgorgement of $2,600.00, and was suspended for two months by FINRA. According to the FINRA report, THOMAS […]

PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and was suspended for five months by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the “Regulatory” disclosure dated 5/13/2025 states the following: “Without admitting or denying the findings, Anderson consented to the sanctions and to […]

Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (WIS). (Respondent) The Claimant is in his late sixties and lives in California. On or about 2019, the Claimant was invited to a presentation on retirement income by a WESTERN INTERNATIONAL SECURITIES’ former broker. The lawsuit alleges […]

Soreide Law Group, based in Pompano Beach, Florida, has been investigating the former Merrill Lynch, Boca Raton, Florida broker/investment advisor, ISAIAH THOMAS WILLIAMS JR, (ISAIAH T WILLIAMS JR, ISAIAH T WILLIAMS). Williams worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INC in Boca Raton from 2017 until his “voluntary resignation” in December of 2024. The […]

Soreide Law Group has been contacted by former customers of EDWARD ERIC FERNANDEZ (EDWARD E FERNANDEZ) who purchased DSTs. Fernandez is currently a broker with CAPULENT LLC of Irvine, California since October of 2017. In addition to the DSTs listed below the DSTs that were also brought to our attention are, Pheonix SFR, and Hayworth Tanglewood. […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WESTPARK CAPITAL, INC., and their former registered representative, DAVID BERNARD LEVINSON (DAVID B LEVINSON) (Respondents). The Claimant is retired and living in Los Angeles, California. On or about November of 2019, as the Claimant was nearing retirement, he liquidated a […]

LINCOLN LUCAS MASON (LINCOLN L MASON) formerly of Edward Jones of Arnolds Park, Iowa, from 03/29/2019 - 12/23/2021, was suspended for 90 days and fined $5,000.00 by FINRA. Mason was previously registered both as an investment advisor and as a broker.  According to the FINRA report, without admitting or denying FINRA’s findings, LINCOLN L MASON […]

JOHN STEPHEN PRONOVOST (JOHN S PRONOVOST) was previously listed as a broker with OSAIC INSTITUTIONS INC of Watertown, Connecticut from 02/26/2021 - 08/05/2025. Pronovost was listed with CAMBRIDGE INVESTMENT RESEARCH INC of Watertown, Connecticut from 02/29/2008 - 03/02/2021 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN S PRONOVOST has 35 years […]

GWG L Bond investors who have received notice of the $50,950,000.00 proposed class action settlement should understand the math involved in arriving at this number.  According to the class action notice, this proposed settlement provides an estimated investment recovery of approximately $30.46 per $1,000.00.  In other words, this will be a fraction of the original […]